IR Information

Capital and Stock Data

Total outstanding share, change in and type of number of common shares provided.

Total Outstanding Shares

(as of September 30, 2012)

Common Stock	1,414,055,625
Total	1,414,055,625

Change in Number of Shares Outstanding and Capital Stock

(Millions of yen)

Date	Number of shares outstanding		Capital stock		Capital surplus
Date	Changes	Balances	Changes	Balances	Changes	Balances
May 17, 2006	(68,000)	8,306,273.77		1,420,877		1,420,989
August 11, 2006		8,306,273.77		1,420,877	(1,000,000)	420,989
September 1, 2006	249,015	8,555,288.77		1,420,877	221,365	642,355
September 6, 2006	(67,000)	8,488,288.77		1,420,877		642,355
September 29, 2006	(439,534)	8,048,754.77		1,420,877		642,355
October 11, 2006	(195,000)	7,853,754.77		1,420,877		642,355
April 30, 2008	157,151	8,010,905.77		1,420,877		642,355
May 16, 2008	(16,700)	7,994,205.77		1,420,877		642,355
January 4, 2009	781,189,672.23	789,183,878		1,420,877		642,355
June 22, 2009	219,700,000	1,008,883,878	413,695	1,834,572	413,695	1,056,050
July 27, 2009	8,931,300	1,017,815,178	16,817	1,851,389	16,817	1,072,868
January 27, 2010	340,000,000	1,357,815,178	459,477	2,310,867	459,477	1,532,345
January 28, 2010	36,343,848	1,394,159,026		2,310,867		1,532,345
February 8, 2010	(33,400)	1,394,125,626		2,310,867		1,532,345
February 10, 2010	20,000,000	1,414,125,626	27,028	2,337,895	27,028	1,559,374
April 1, 2011	(70,001)	1,414,055,625		2,337,895		1,559,374

Remarks:

May
17, 2006

Repurchase and cancellation of 35,000 shares of preferred stock (Type 1)
and 33,000 shares of preferred stock (Type 2)

August
11,2006

Capital reserve was transferred to other capital surplus pursuant to Article
448-1 of the Company Law

September
1, 2006

Increase in the number of common stock as a result of share exchange for making SMBC Friend Securities Co., Ltd. our wholly-owned subsidiary
(share exchange ratio: 1-to-0.0008)

September
6, 2006

Repurchase and cancellation of 67,000 shares of preferred stock (Type 2)

September
29, 2006

Repurchase and cancellation of 500,000 shares of preferred stock (Type 3) and increase in shares of common stock of 60,466

October
11,2006

Repurchase and cancellation of 195,000 shares of preferred stock (Type 3)

April
30,2008

Increase in shares of common stock of 157,151 as a result of exercise of rights to purchase all the shares of preferred stock (5th to 8th series Type 4)

May
16, 2008

Decrease in shares of preferred stock (Type 4) of 16,700 as a result of cancellation of all the shares of preferred stock (5th to 8th series Type 4)

January
4, 2009

Increase in shares of common stock of 781,189,672.23 as a result of 100-for-1 stock split

June
22, 2009

Public offering:

Common stock:	219,700,000 shares
Issue price:	3,766 yen
Capitalization:	1,883 yen

July
27, 2009

Allotment to third parties:

Common stock:	8,931,300 shares
Issue price:	3,766 yen
Capitalization:	1,883 yen

January
27, 2010

Public offering:

Common stock:	340,000,000 shares
Issue price:	2,702.81 yen
Capitalization:	1,351.405 yen

January
28, 2010

Increase in shares of common stock of 36,343,848 as a result of exercise of rights to purchase all the shares of preferred stock (1st to 4th and 9th to 12th series Type 4)

February
8, 2010

Decrease in shares of preferred stock (Type 4) of 33,400 as a result of cancellation of all the shares of preferred stock (1st to 4th and 9th to 12th series Type 4)

February
10, 2010

Allotment to third parties:

Common stock:	20,000,000 shares
Issue price:	2,702.81 yen
Capitalization:	1,351.405 yen

April
1, 2011

Repurchase and cancellation of 70,001 shares of preferred stock (Type 6)

Information on Common Stock

Number of Shares, Classified by Type of Shareholders

(as of March 31, 2012)

	Number of shareholders	Number of shares (units of shares)	Percentage of total (%)
Japanese government and local government	7	4,774	0.03
Financial institutions	387	4,156,217	29.44
Securities companies	95	636,758	4.51
Other institutions	8,753	1,509,896	10.70
Foreign institutions, etc. Of which, institutions Of which, individuals	882 142	5,275,303 790	37.37 0.01
Individuals and others	337,962	2,531,698	17.94
Total	348,228	14,115,436	100.00
Fractional shares (shares)		2,512,025

(Note1): Of 49,441,519 shares in treasury stock, 494,415 units of shares are included in "Individuals and others" and 19 shares are included in "Fractional shares."
(Note2): "Other institutions" and "Fractional shares" include 28 units of shares and 51 shares held by the Securities Custody Association, respectively.

Principal Shareholders

(As of September 30, 2012)

Shareholders	Number of shares (100 shares)	Percentage of shares outstanding (%)
Japan Trustee Services Bank, Ltd. (Trust Account)	883,936	6.25
The Master Trust Bank of Japan, Ltd. (Trust Account)	767,758	5.42
Sumitomo Mitsui Banking Corporation	561,609	3.97
SSBT OD05 OMNIBUS ACCOUNT - TREATY CLIENTS	392,607	2.77
Japan Trustee Services Bank, Ltd. (Trust Account 9)	251,214	1.77
STATE STREET BANK AND TRUST COMPANY 505225	212,293	1.50
MELLON BANK, N.A. AS AGENT FOR ITS CLIENT MELLON OMNIBUS US PENSION	191,945	1.35
NATSCUMCO	160,280	1.13
THE BANK OF NEW YORK, TREATY JASDEC ACCOUNT	158,763	1.12
Nippon Life Insurance Company	154,666	1.09

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